Audit Compliance Specialist

2 weeks ago

Palo Alto, California, United States Stanford Federal Credit Union Full time
Job Overview

Audit Compliance Specialist Opportunity at Stanford Federal Credit Union

Our mission is to enhance financial well-being. If you are a dynamic, empathetic, and collaborative professional eager to make a significant impact, we invite you to consider this role. At Stanford FCU, our members are our priority, as we are a non-profit organization owned by our members. Our clientele includes individuals from Stanford University and leading innovative firms in Silicon Valley, for whom we offer unparalleled financial benefits.

Stanford FCU operates as a $4 billion entity with a global presence, serving 88,000 members across 90 countries. Join us and experience what it means to be part of a recognized Top Workplace in the Bay Area. As our CEO emphasizes, "we work diligently and enjoy our time together," and we seek your assistance in furthering our mission to enhance financial lives.

*Please note this is not a remote position; a hybrid onsite presence is required.*

Role Responsibilities

The Audit Compliance Specialist (ACS) is integral to the Risk Compliance Analyst (RCA) team, supporting the Compliance Program at Stanford Federal Credit Union. The ACS acts as the main liaison for auditors and examiners, overseeing all audit activities and ensuring the timely execution of audit responsibilities. This role involves managing audit findings, including the distribution of reports, follow-up actions, and status updates to management. During off-peak periods, the ACS will perform internal audit functions to verify adherence to organizational protocols. This position demands meticulous attention to detail, strong coordination abilities, and a high level of professionalism.

Key Qualifications
  • Serve as the primary contact for internal and external auditors, examiners, and other audit-related engagements.
  • Lead audit engagements by coordinating initial and concluding meetings, managing access to secure platforms, uploading necessary documents, and facilitating communication among relevant teams.
  • Oversee the remediation of audit findings, including the distribution of audit reports, assignment of tasks, follow-up on resolutions, and reporting status to management.
  • Maintain professionalism and responsiveness as the primary point of contact, ensuring all audit tasks are completed efficiently.
  • During quieter audit periods, perform internal audit duties, including verification, inspection, and observation to ensure compliance with departmental and organizational procedures.
  • Associate degree or equivalent experience is required; a minimum of two years of specialized experience in Risk or Compliance within a financial institution is preferred.
What You Will Do
  • Compliance Monitoring and Reporting:
    1. Conduct regular evaluations of the organization's adherence to applicable laws, regulations, and internal policies.
    2. Prepare and maintain compliance documentation for internal stakeholders.
    3. Identify compliance deficiencies and propose corrective measures.
  • Risk Assessment:
    1. Analyze credit union operations to identify potential risks.
    2. Assess the effectiveness of current risk mitigation strategies and suggest enhancements.
    3. Assist in formulating risk mitigation plans.
    4. Provide analytical insights to support informed decision-making.
  • Regulatory Research:
    1. Stay informed about changes in relevant laws and industry standards.
    2. Interpret and communicate regulatory updates to relevant departments.
    3. Support the implementation of compliance measures in response to regulatory changes.
    4. Participate in the development and review of internal policies to ensure regulatory compliance.
    5. Conduct policy assessments to ensure alignment with internal procedures and best practices.
  • Training and Audit Support:
    1. Assist in creating and delivering compliance training for staff.
    2. Ensure departments are updated on compliance policy changes.
    3. Collaborate with auditors during compliance assessments.
    4. Help prepare audit documentation and respond to audit findings.
Benefits
  • Comprehensive medical, dental, vision, life, and short-term disability insurance coverage for employees; partial coverage for dependents.
  • Quarterly performance incentives up to 10% of salary (dependent on position).
  • 401(k) matching contributions up to 5%, along with additional annual discretionary contributions.
  • Education reimbursement of up to $5,200 annually.
  • Health and fitness benefits of up to $500 per year.
  • Employee recognition program with cash rewards.
  • Commute benefits up to $900 annually.
  • Accrued paid sick time of two weeks per year.
  • Accrued paid vacation time of three weeks per year.
  • Paid federal banking holidays (approximately 10 per year).
  • Opportunities for ongoing training, education, and professional development.
  • Discounted loan rates on select products.
  • Waived fees and bonuses on Stanford FCU accounts.
  • Flexible health and transit plan options.
  • Employee Assistance Program offering various free services.

Stanford Federal Credit Union is committed to providing equal employment opportunities and fostering a diverse and inclusive workplace for qualified individuals from all backgrounds.

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